Head Compliance

Job Description:

Career Opportunity in Mumbai with one of the India’s Premier Boutique Investment Firm – Compliance & Legal Department reporting to the Managing Director & Director Operations.

We are pleased to offer a challenging and rewarding career opportunity in the Compliance & Legal Department of one of India's most successful fund houses. If you are a Company Secretary (CS) Rank holder/First Attempt with 5-12 years of experience and possess a strong understanding of regulatory frameworks, this position might be the right fit for you. A CS (rank holder/First attempt) with a degree in Law will definitely be a plus.

About the Client: Our client is a boutique Investment Firm and renowned Portfolio Manager with a track record of excellence in managing Alternative Investment Funds (AIFs) and offshore funds. They have achieved remarkable success in the domestic and international markets. With a robust presence both in India and abroad, their assets under management (AUM) is around 8000Cr.

The client is a SEBI registered firm, offering Portfolio Management Services (PMS), AIFs, and an FPI fund from Dubai International Financial Centre (DIFC). With their thriving international presence, they are committed to upholding the highest standards of compliance and legal practices across all their operations.

Job Description:

As a key member of the Compliance & Legal Department, your responsibilities will include:

• Thorough understanding and adherence to SEBI laws and regulations, ensuring full compliance with the applicable norms across the client's operations.
• Keeping abreast of the latest changes and updates in SEBI PMS and AIF regulations, and implementing necessary adjustments accordingly.
• Timely preparation and submission of reports to regulators and the board of directors, showcasing the client's commitment to compliance.
• Ensuring compliance with all regulatory laws and requirements for all entities within the client's group, both in India and internationally.
• Developing a comprehensive understanding of laws and regulations in various international jurisdictions, staying ahead of evolving regulatory landscapes.
• Liaising with SEBI and other international regulatory authorities, fostering strong relationships and transparent communication.
• Monitoring and reporting on Anti-Money Laundering (AML) and Foreign Account Tax Compliance Act (FATCA) compliance, ensuring adherence to global standards.
• Coordinating with regulators for PMS, AIF compliance, and addressing any queries that may arise in both domestic and international markets.

We believe that joining our client's team will present you with an exciting and fulfilling opportunity to contribute to a thriving organization that values professionalism, innovation, and integrity. If you are motivated by challenges and passionate about compliance and legal matters, we invite you to apply and become a part of their dynamic team.

Please submit your application, including your resume and a cover letter detailing your relevant experience and achievements, to pankaj@dcspl.com.